DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

T•••• L•••••

W•••• F•••• A•••••••wirehouseSt. Louis, Modual registrantIAPD 3200888

Feed of 09/14/2026

Also filed as T•••• Ann L•••••

At current firm

0 y

since Mar 31, 2026

In the industry

23 y

since Sep 6, 2003 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

W•••• F•••• A••••••• wirehouse current
since Mar 31, 2026 · St. Louis, Mo
C•••••• S••••• • C••• I••• national BD
Sep 30, 2022 to Jun 7, 2025 · St Louis, Mo
T• A••••••••• I••• former
Feb 27, 2018 to Oct 14, 2022 · St. Louis, Mo
T• A••••••••• I••••••••• M••••••••• L•• former
Feb 26, 2018 to Jun 14, 2018 · Omaha, Ne
S•••••••• I••••••••• M••••••••• former
Jul 7, 2016 to Feb 26, 2018 · Saint Louis, Mo
E••••• J•••• national BD
Feb 5, 2009 to Nov 5, 2014 · St. Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

C•••••• S••••• • C••• I••• to W•••• F•••• A•••••••
left Jun 7, 2025, registered Mar 31, 2026 (297 days) · Affiliated broker-dealer or bank to wirehouse
T• A••••••••• I••• to C•••••• S••••• • C••• I•••
left Oct 14, 2022, registered Sep 30, 2022 (-14 days) · channel change inside one enterprise, not a move · moved with a team
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Jun 14, 2018, registered Feb 27, 2018 (-107 days) · corporate re-registration, not a move
S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••
left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
E••••• J•••• to S•••••••• I••••••••• M•••••••••
left Nov 5, 2014, registered Jul 7, 2016 (610 days) · Other

Signals

T•••• L••••• left C•••••• S••••• • C••• I••• for W•••• F•••• A••••••• (registered 2026-03-31)
Jun 7, 2025 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Wirehousederived
Years in industry: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address